A6 : Research Degrees

A6 : RESEARCH DEGREES INTRODUCTION Programmes of research for the Degrees of Master of Science by Research (MSc by Research), Master of Philosophy (MPhil) and Doctor of Philosophy (PhD) may be based on any area of enquiry subject to the requirement that the Research Degrees Committee of the University is satisfied that such study is suited to academic research and that the results can be satisfactorily examined. The University shall award the degrees of MSc by Research, MPhil and PhD to registered research students who successfully complete approved programmes of supervised research and satisfy the examination requirements. Research students for the Degree of MSc by Research and MPhil shall be expected to have critically investigated and evaluated an approved subject and to have demonstrated an understanding of research methods appropriate to their particular subject. In the case of the Degree of PhD, research students shall be expected to show evidence of critical investigation and evaluation together with a thorough understanding of appropriate research methods and to have made an original contribution to the knowledge of the subject. Research students for the Degrees of MSc by Research, MPhil or PhD shall be required to present and to defend a thesis by oral examination (or approved alternative) to the satisfaction of the examiners. The University encourages co-operation with industrial, commercial, professional and research establishments in work leading to research awards. Formal agreement between the University and a collaborating establishment shall normally involve the research student s access to facilities and resources, including advice and supervision, provided jointly by the University and the collaborating establishment. All proposed research programmes shall be considered on their academic merits without reference to the interests of a collaborating establishment or associated funding agency. CONTENTS 1. Principles 2 1.1 Research Degrees Committee 2 1.2 Research Degree Awards of the University 2 1.3 Application of Academic Regulations to Research Students 3 2. Admission 4 2.1 Principles of Admission 4 2.2 Admission Requirements 4 2.3 English Language Competence 4 2.4 Research Methods and Related Studies 5 2.5 Accreditation of Prior Learning (APL) 5 3. Enrolment 5 4. Supervision 5 5. Registration for a Research Degree 6 5.1 Approval of Registration 6 5.2 Ethical Approval of Programmes of Research 7 5.3 Periods of Registration 8 5.4 Writing-Up of Thesis 8 5.5 Temporary Suspension of Studies 8 5.6 Withdrawal from Studies 9 5.7 Termination of Registration and/or Enrolment 9 6. Monitoring and Supporting Student Progress 9 6.1 Annual Monitoring 9 6.2 Exit with MSc by Research or MPhil 9 7. Transfer of Registration to Doctor of Philosophy 10 Last Reviewed: 30 November 2005 1 Printed: 30 November 2005

8. The Thesis 10 8.1 Presentation and Content 10 8.2 Publication and Confidentiality 11 9. Examination 12 9.1 Examination - General 12 9.2 Examiners 13 9.3 Examination Responsibilities 14 9.4 Research Student s Responsibilities for the Examination 15 9.5 Recommendations of the Examiners - First Examination 15 9.6 Re-Examination 16 10. Appeal (Research Degrees) 18 10.1 Applicability and Grounds of Appeal 18 10.2 Student Academic Appeals Committee 19 11. Research Degree Complaints Procedure 21 11.1 Nature of Complaint 21 11.2 Stage 1 - Informal Resolution of Complaints 22 11.3 Stage 2 - Formal Complaint 22 11.4 Stage 3 - Formal Complaint 23 11.5 Recording of Complaints 24 12. The Award of PhD by Public Output 24 12.1 Registration and Approval of the Portfolio of Public Output 24 12.2 Timescales for Completion 25 12.3 Supervision 25 12.4 The Thesis, the Portfolio of Public Output and Support Statement 25 12.5 Examiners 26 12.6 First Examination 26 Schedule 6.1 : Specification for Thesis Submission 28 1. PRINCIPLES 1.1 Research Degrees Committee The Research Degrees Committee of the University operates to ensure, on behalf of Academic Council, that the University s Regulations for research degrees are complied with, and that the standard of awards and interests of students are assured. 1.2 Research Degree Awards of the University 1.2.1 The University has the authority to confer the following awards: Master of Science (MSc by Research); Master of Philosophy (MPhil); Doctor of Philosophy (PhD); (iv) Doctoral Degrees (Professional) awards, as specified in Regulation A1, Schedule 1.1. 1.2.2 Such awards may also be conferred posthumously in accordance with Regulation A4, paragraph 16. 1.2.3 The Degree of MSc by Research or MPhil shall be awarded to a research student who, having critically investigated and evaluated an approved topic and demonstrated an understanding of research methods appropriate to the field of study, has presented and defended a thesis, by oral examination (or approved alternative), to the satisfaction of the examiners. Last Reviewed: 30 November 2005 2 Printed: 30 November 2005

1.2.4 The Degree of PhD shall be awarded to a research student who, having critically investigated and evaluated an approved topic resulting in an independent and original contribution to knowledge and demonstrated an understanding of research methods appropriate to the field of study, has presented and defended a thesis, by oral examination (or approved alternative), to the satisfaction of the examiners. 1.3 Application of Academic Regulations to Research Students 1.3.1 As enrolled students of the University, research students are subject to the provisions of Regulation A3: Student Conduct, Appeals and Complaints, with the exception of the following: paragraph 8, Academic Appeals - Awards and Progression, which does not apply. Research students wishing to lodge an appeal against an examination decision should refer to paragraph 10 of this Regulation. Paragraph 9, Student Complaints Procedure, which does not apply. Research students wishing to raise a complaint should refer to paragraph 11 of this Regulation. 1.3.2 Further to the provisions of paragraphs 3, 6 and 7 of Regulation A3: Student Conduct, Appeals and Complaints, research students are subject to any Regulations, policies or instructions issued by the University in respect of research misconduct. For the purposes of this Regulation research misconduct may include (though is not limited to), the following whether deliberate, reckless or negligent: (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) (xv) (xvi) failure to obtain appropriate permission to conduct research; deception in relation to research proposals; unethical behaviour in the conduct of research, for example in relation to research subjects; unauthorised use of information which was acquired confidentially; deviation from good research practice, where this results in unreasonable risk of harm to humans, other animals or the environment; fabrication, falsification or corruption of research data; distortion of research outcomes, by distortion or omission of data that do not fit expected results; dishonest misinterpretation of results; publication of data known or believed to be false or misleading; plagiarism, or dishonest use of unacknowledged sources; misquotation or misrepresentation of other authors; inappropriate attribution of authorship; fraud or other misuse of research funds or research equipment; attempting, planning or conspiring to be involved in research misconduct; inciting others to be involved in research misconduct; collusion in or concealment of research misconduct by others. Last Reviewed: 30 November 2005 3 Printed: 30 November 2005

2. ADMISSION 2.1 Principles of Admission 2.1.1 The principal academic criterion for determining an applicant s suitability for admission is that there is a reasonable expectation that he/she will be able to fulfil the award objectives and achieve the standard required for the award. 2.1.2 The admissions policy of the University seeks to ensure equality of opportunity for all applicants. 2.1.3 An enrolled research student may make an application to register for: Master of Science (MSc by Research); Doctor of Philosophy (PhD); Doctor of Philosophy (PhD) by Public Output; (iv) Doctoral Degrees (Professional) awards, as specified in Regulation A1, Schedule 1.1. 2.1.4 Exceptionally, the Research Degrees Committee may consider an application to register for the MPhil, or the MPhil with the possibility of transfer to the degree of Doctor of Philosophy (MPhil/PhD). 2.2 Admission Requirements 2.2.1 Applicants intending to register for either the Degree of MSc by Research, or for MSc by Research with the possibility of transfer to PhD, shall normally possess a Class 1 or 2.1 honours degree from a United Kingdom university or other institution recognised for this purpose by the Research Degrees Committee, or a qualification which is regarded by the Committee as equivalent to such an honours degree. 2.2.2 Direct registration for the Degree of PhD may be permitted where an applicant holds a Masters degree by research awarded by a university in the United Kingdom or other institution recognised for this purpose by the Research Degrees Committee, provided that such a degree is in a discipline appropriate to the proposed programme of research and included training in research together with the realisation of a research project. The Committee may permit a research student to register who lacks a Masters degree but holds a good honours degree, or equivalent, in an appropriate discipline and where, in the opinion of the Committee, there is adequate evidence to show that the applicant possesses appropriate research and/or professional experience. 2.3 English Language Competence 2.3.1 The language of instruction at the University is English and proficiency in speaking, listening to, reading and writing English is essential. Students whose first language is not English, or who originate from countries whose national language is not English, are, additionally required to demonstrate English language proficiency to minimum standards defined in this Regulation. The Research Degrees Committee shall ensure that an applicant has sufficient proficiency in the English language in order to satisfactorily complete the programme of research and to prepare and defend a thesis in English. 2.3.2 The minimum standard required for research degree provision will be an English Language competency score of IELTS 6.5 or equivalent as set in Schedule 2.1 of Regulation A2: Admission. Students who can demonstrate successful completion of tertiary studies in a country whose national language is English, may be exempted from this requirement. Exceptionally, there may be a requirement for more stringent English language competency in some courses and this shall be set with the prior approval of the Research Degrees Committee. Last Reviewed: 30 November 2005 4 Printed: 30 November 2005

2.4 Research Methods and Related Studies 2.4.1 All research students, unless they can demonstrate prior learning deemed appropriate for the purpose by the Research Degrees Committee, shall be required to enrol on the University s Postgraduate Certificate in Research Methods. The course is intended to provide the research student with a programme of related studies and ensure the research student has attained the necessary competence in research methods and knowledge related to the subject of the thesis. The course is devised with the following objectives: to equip the research student with the skills and knowledge necessary to undertake the proposed research; to make available a body of knowledge normally associated with a degree in the subject area of the proposed programme of research; to provide a breadth of knowledge in related subjects. 2.4.2 Simultaneous registration for a course other than the Postgraduate Certificate in Research Methods shall require the permission of the Research Degrees Committee. The Committee shall permit a research student to register for another course of study concurrently with a research degree only where such a course of study is undertaken in the part-time mode and where the Committee is satisfied that dual registration shall not inhibit the research student s programme of research. 2.5 Accreditation of Prior Learning (APL) 2.5.1 When considering applications from research students holding qualifications other than those stated in paragraph 2.2 of this Regulation, the Research Degrees Committee requires to establish the applicant s suitability for the proposed programme of research. Applicants should therefore be prepared to provide the Committee with such evidence, together with the names of two appropriate referees whom the University can consult with reference to the applicant s academic attainment and fitness for research. The Research Degrees Committee may require an applicant to pass an externally assessed qualifying examination at a level equivalent to SCQF level 10 before registration is approved. 2.5.2 The Committee may permit a research student to register for a research degree who lacks formal post-school qualifications where, in the opinion of the Committee, there is substantial evidence to show that the applicant possesses appropriate research and/or professional experience. 3. ENROLMENT 3.1 A research student shall initially enrol as a student of the University at the commencement of any semester during a session and, thereafter, shall enrol as a student of the University at the commencement of each session during which he/she is registered for an award. As part of the enrolment procedure a research student shall formally acknowledge that he/she accepts and will abide by the University Regulations. 4. SUPERVISION 4.1 The Research Degrees Committee shall approve and appoint at the time of each research student s registration, a supervisory team of at least two and normally not more than three supervisors, at least one of whom shall be a member of staff of the University. 4.2 Members of the supervisory team shall be appointed to the following roles: Principal Supervisor, with formal responsibility for the research student s supervision; Second Supervisor; Study Co-ordinator, with formal responsibility for ensuring compliance with the University s Regulations and quality procedures, ensuring effective supervision of the research student, and maintaining effective communication between the student and the supervisory team. Last Reviewed: 30 November 2005 5 Printed: 30 November 2005

4.3 Where the Principal Supervisor is a member of staff within the School, Centre or other unit in which the research student is based, the Principal Supervisor will also assume the role of Study Co-ordinator. 4.4 Where the Principal Supervisor is not a member of staff within the School, Centre or other unit in which the research student is based, or has not supervised a research student to successful completion of a PhD, a Study Co-ordinator will be appointed from within the School, Centre or other unit in which the research student is based. 4.5 No member of University staff shall be appointed as Principal Supervisor to more than six individual research students simultaneously. 4.6 A supervisory team shall normally have combined experience of supervising not less than two research students to successful completion of their projects. In the case of a PhD research student, normally one of the supervisors shall have successfully supervised at PhD level. 4.7 In addition to the supervisory team, an adviser(s) may be appointed to contribute specialist knowledge or provide a link with an external agency. 4.8 A research student shall be ineligible to act as a member of a supervisory team for another research student, but may be appointed as an adviser. 4.9 Any change to the approved supervisory team shall require the approval of the Research Degrees Committee. 5. REGISTRATION FOR A RESEARCH DEGREE 5.1 Approval of Registration 5.1.1 A research student shall submit an application to register for a research degree three months after his/her initial enrolment as a research student of the University, irrespective of whether the research student intends studying full-time or part-time. 5.1.2 A research student may be accepted for registration for a research degree as a full-time or part-time student. 5.1.3 The Research Degrees Committee has delegated powers from Academic Council to approve or reject applications from research students applying to register for research degrees. In approving an application for registration to study for a research degree, the Research Degrees Committee shall satisfy itself that: (iv) the research student is suitably qualified; the programme of research submitted by the applicant is viable; the supervision available is adequate and sustainable in terms of the programme requirements; appropriate facilities are available for the conduct of the programme of research. 5.1.4 When considering applications from students studying at a distance, the Research Degrees Committee may consider applications subject to the following conditions: the proposed programme of research is appropriate to the objectives of the degrees of MSc by Research, MPhil or PhD as an educational programme for a registered research student; there is satisfactory evidence that the facilities available, both in the University and abroad, are appropriate to the proposed programme of research; Last Reviewed: 30 November 2005 6 Printed: 30 November 2005

(iv) (v) the research student is prepared to establish close links with the University; normally, research students shall be expected to undertake a minimum period of residency at the University during their period of registration as specified by the University on admission; the arrangements proposed for supervision permit frequent and substantial contact, including personal meetings between the research student and the supervisory team. There should also be regular contact between the Study Co-ordinator and any locally-based supervisor(s); there is satisfactory evidence the research student has previously undertaken an accredited research methods qualification, or equivalent. 5.1.5 All programmes of research registered with the University must be compatible with and support existing work within the University; they should also be compatible with, and contribute to the advancement of education, learning and knowledge. The Research Degrees Committee shall expect the programme of research to reflect the particular strengths of the University and of any collaborating institution. 5.1.6 Where the programme of research submitted by an applicant forms part of a larger group project, the individually-registered programme of research shall be distinguishable for the purposes of assessment and the requirements of the award sought by the applicant. The application shall indicate clearly the applicant s individual contribution and its relationship to the group project. 5.1.7 Where a research student is associated with an overseas institution, the institution may be named as the collaborating establishment. 5.1.8 Where a proposed research degree project is wholly or in part funded by an external agency or by a collaborating establishment, the Research Degrees Committee shall ensure that the terms of the funding do not inhibit the fulfilment of the objectives of the project and/or the academic requirements of the research student s research degree, nor potentially gives rise to a conflict of interest with the University. 5.1.9 A research student may undertake a programme of research in which the research student s own creative work forms, as a point of origin or reference, a significant part of the intellectual enquiry subject to the work having been undertaken as part of the registered programme of research. Such creative work shall be clearly presented in relation to the argument of a written thesis and shall be set in its relevant theoretical historical, critical or design context. The final submission shall be accompanied by a permanent record of the creative element of the work, where practicable, bound in with the thesis. The application for registration shall set out the form of the intended submission and the proposed method(s) of assessment. 5.1.10 A research student may undertake a programme of research in which the principal focus is the preparation of a scholarly edition of a text of texts, musical or choreographic work or other original artefact(s). The completed submission for such a programme shall include a copy of the edited text(s) or collection of artefact(s), appropriate textual and explanatory annotations together with a significant introduction and critical commentary which sets the text(s) in their relevant historical, theoretical and/or critical context. 5.1.11 Permission to present a thesis in a language other than English will require the prior approval of the Research Degrees Committee, and shall normally only be given where the subject matter of the thesis involves language and related studies. Such permission shall require to be sought at the time of admission and shall be subject to the availability of suitably qualified supervisors and examiners. 5.2 Ethical Approval of Programmes of Research When considering a proposed programme of research, the Research Degrees Committee shall satisfy itself that a research student s Study Co-ordinator has ensured the proposed programme of research has been considered in accordance with any policies or procedures of the University, or other relevant external body, may have in place in respect of the ethical approval of research. Last Reviewed: 30 November 2005 7 Printed: 30 November 2005

5.3 Periods of Registration 5.3.1 Normally, full-time research students are expected to devote, on average, a minimum of 35 hours each week to their research throughout their period of registration for a research degree. Part-time students are expected to average a minimum of 12 hours per week throughout their period of registration for a research degree. 5.3.2 The minimum and maximum periods of registration shall be: Minimum Recommended Maximum MSc by Research Full-time 12 months 12 months 24 months Part-time 21 months 24 months 30 months MPhil Full-time 18 months 24 months 36 months Part-time 30 months 36 months 48 months PhD (by transfer from MSc by Research registration and inclusive of period of MSc by Research registration) Full-time 30 months 36 months 48 months Part-time 42 months 54 months 60 months PhD (by direct registration) Full-time 24 months 36 months 48 months Part-time 36 months 54 months 60 months 5.3.3 A full-time research student shall normally reach the standard for the MSc by Research within one year of registration, for the MPhil within two years of registration and for the PhD within three years of registration. Where there is evidence that the research is proceeding exceptionally well, the Research Degrees Committee may approve a shorter minimum period of registration. An application for such reduction shall be submitted at the same time as the application for approval of the examination arrangements. 5.3.4 Where a research student changes from full-time to part-time or vice versa, the minimum and maximum registration periods shall normally be calculated pro rata as if he/she were a part-time research student. Notification of such a change shall be made in writing to the Research Degrees Committee. 5.3.5 A research student shall submit the thesis to the Secretary of the Research Degrees Committee before the expiry of the maximum period of registration. The Research Degrees Committee may extend a research student s period of registration solely for the purposes of writing-up, normally for not more than one year at a time for full-time research students, and normally for not more than two years for part-time students. A research student seeking such an extension shall apply on the appropriate form and will be subject to a writing-up fee as determined by the University from time to time. 5.4 Writing-Up of Thesis Where the Research Degrees Committee extends a research student s period of registration solely for the purposes of writing-up (refer to paragraph 5.3.2 of this Regulation) the research student shall be required to enrol for this period, which shall not normally exceed one year for full-time research students, or two years for part-time research students. 5.5 Temporary Suspension of Studies 5.5.1 The Research Degrees Committee may consider applications from a research student who wishes to suspend his/her studies for a specified period, not normally exceeding one year. Normally, a research student shall be permitted to suspend study only once during his/her period of registration. Last Reviewed: 30 November 2005 8 Printed: 30 November 2005

5.5.2 An agreed period of suspension shall not be included in the period of registration, as specified in paragraph 5.3.2 of this Regulation. 5.6 Withdrawal from Studies Where a research student wishes to withdraw from their programme of research and cease their registration this shall be submitted in writing to the Secretary of the Research Degrees Committee, and the date on which this is submitted will serve as the date on which all outstanding over-payments or arrears of fees, scholarships or funds shall be recalculated. The withdrawal of registration shall be notified to the Research Degrees Committee by the Secretary. 5.7 Termination of Registration and/or Enrolment Where the Research Degrees Committee has concern with the progress of a research student and is unable to communicate with the research student, it will advise the research student in writing and seek a response within a specified period. If no response is received from the research student within this specified period, the research student s enrolment and registration will be terminated and the research student informed in writing. Such notification will advise of any outstanding over-payments or arrears of fees, scholarships or funds. The Research Degrees Committee shall report annually to Academic Council on terminations. 6. MONITORING AND SUPPORTING STUDENT PROGRESS 6.1 Annual Monitoring 6.1.1 At least once in each year of registration the Research Degrees Committee shall establish whether the research student is still engaged with the programme of research and is maintaining regular and frequent contact with the supervisors. 6.1.2 The Committee shall consider an Annual Monitoring Progress Report (RSR) and determine any appropriate action which, exceptionally, may include the termination of the research student s registration. 6.1.3 It is also an expectation that the research student s Study Co-ordinator will undertake an informal interim review at six months after each submission of the Annual Monitoring Progress Report (RSR). 6.2 Exit with MSc by Research or MPhil 6.2.1 A research student who is registered for the degree of PhD and who is unable to complete the approved programme of research, or wishes to exit their studies prematurely, may at any time prior to the submission of the thesis for examination for PhD, apply to the Research Degrees Committee for the registration to transfer to that for MPhil or MSc by Research. In doing so, the research student shall be required to submit a thesis and undertake an oral examination (or approved alternative) in fulfilment of the intended award and in accordance with the requirements of the Research Degrees Committee. 6.2.2 A research student who is registered for the degree of MPhil and who is unable to complete the approved programme of research, or wishes to exit their studies prematurely, may at any time prior to the submission of the thesis for examination for MPhil, apply to the Research Degrees Committee for the registration to transfer to that for MSc by Research. In doing so, the research student shall be required to submit a thesis and undertake an oral examination (or approved alternative) in fulfilment of the intended award and in accordance with the requirements of the Research Degrees Committee. Last Reviewed: 30 November 2005 9 Printed: 30 November 2005

7. TRANSFER OF REGISTRATION TO DOCTOR OF PHILOSOPHY 7.1 A research student registered initially for the degree of MSc by Research, or MPhil, with the possibility of transfer to PhD and who wishes to transfer to PhD shall apply to the Research Degrees Committee. Such a request shall be made only where his/her supervisor considers that sufficient progress has been made to provide evidence of development towards the standard for the Degree of PhD. 7.2 Normally, an application to transfer shall be submitted following twelve months of full-time study or the part-time equivalent. 7.3 An application to transfer of registration from MSc by Research or MPhil to PhD shall be submitted, on the appropriate form, to the Secretary of the Research Degrees Committee. The application shall be accompanied by: a progress report of normally 2,000 to 3,000 words in length, providing: a brief review and discussion of the work already undertaken; and a statement of the intended further work, including details of the original contribution to knowledge which is likely to emerge; (iv) evidence of successful completion of module 1 of the Postgraduate Certificate in Research Methods, unless Accreditation of Prior Learning (APL) has previously been approved; evidence that the programme of research has been considered in accordance with any policies or procedures the University, or other relevant external body, may have in place in respect of the ethical approval of research; a pass in an oral examination. 7.4 Before approving transfer from MSc by Research, or MPhil, to PhD the Research Degrees Committee shall be satisfied that the research student has made sufficient progress and that the proposed programme provides a suitable basis for work at PhD standard which the research student is capable of pursuing to completion. 7.5 A research student registered for the Degree of MSc by Research only, or MPhil only, may apply to transfer the registration to PhD. In such cases, the research student should provide details of the objectives of the PhD extension, and of the proposed plan of work for the PhD, and the research student s full progress report shall be submitted to the Research Degrees Committee along with the application for transfer as described in paragraph 7.3 above. 7.6 Where the Research Degrees Committee approves a transfer, any previous study will be subsumed within the award of PhD, and shall be regarded as non-award-bearing, unless the research student chooses to subsequently exit prematurely, as specified in paragraph 6.2 of this Regulation, or the examiners recommend an award as specified in paragraph 9.5 of this Regulation. 8. THE THESIS 8.1 Presentation and Content 8.1.1 The thesis shall not be submitted for examination until all examiners have been appointed by the Research Degrees Committee. 8.1.2 The thesis shall be presented in the English language whether in printed or electronic format, except when specific permission has been granted by the Research Degrees Committee at the time of admission to submit in another language, as specified in paragraph 5.1.11 of this Regulation. Where a thesis is presented in a language other than English, a summary in English of approximately 1,000 words shall be included. Last Reviewed: 30 November 2005 10 Printed: 30 November 2005

8.1.3 Where a thesis is to be presented in electronic format the research student shall consult with the University Library at an early stage on the appropriate presentation and software for the thesis. 8.1.4 Details of the normal maximum length of text and the form of presentation to be adopted in the submission of a thesis for a research degree award, whether in either printed or electronic format, are specified in Schedule 6.1 to this Regulation. Except where the Research Degrees Committee permits particular relaxation, all theses shall accord with Schedule 6.1 to this Regulation. 8.1.5 There shall be an abstract of approximately 300 words which shall provide a synopsis of the content. The abstract shall state the nature and scope of the work undertaken together with the contribution made to the knowledge of the subject treated. The abstract shall have as a heading: the name of the author; the degree for which the thesis is submitted; and the title of the thesis. 8.1.6 If the thesis is in printed format, the abstract shall be bound into the thesis, and three loose copies of the abstract shall be submitted with the thesis. If the thesis is in electronic format, the abstract shall be submitted in electronic format. A list of no more than ten identifying keywords shall be submitted for indexing and information retrieval purposes. 8.1.7 The thesis shall include a statement of the research student s aims and objectives in undertaking the research project. It shall also contain an acknowledgement of published or other sources of material consulted (recorded in an appropriate bibliography) and any assistance received. 8.1.8 Where a research student s programme of research forms part of a collaborative group project, the thesis shall clearly indicate the research student s individual contribution and the extent of the collaboration. 8.2 Publication and Confidentiality 8.2.1 The research student shall be free to publish material in advance of the submission of the thesis for examination in accordance with the University s policies in operation at the time of the research student s initial registration; reference shall be made in the thesis to such published work. If the thesis is in printed format, copies of published material shall be bound in with the thesis or placed in an adequately secured pocket at the end of the thesis. If the thesis is in electronic format, copies of published material shall be submitted in electronic format. 8.2.2 In accordance with data protection and freedom of information legislation, a research student s thesis shall normally be made available to the public. Where either the research student or the University wishes a thesis to remain confidential, application shall normally be made to the Research Degrees Committee at the time of registration. In cases where the need for confidentiality emerges at a subsequent stage, a special application shall be made to the Research Degrees Committee at least six months prior to the date of the oral examination (or approved alternative). The period of confidentiality shall not normally exceed three years from the date of the oral examination (or approved alternative). Where a thesis is to remain confidential, examiners must be informed at the time of their appointment. Any application for an extension to the period of confidentiality shall be submitted to the Research Degrees Committee at least six months prior to the date on which the extension is required to commence. 8.2.3 The Research Degrees Committee shall normally approve an application for confidentiality only to enable a patent application to be lodged or to protect commercially or politically sensitive material. Where the Committee agrees that the confidential nature of the research student s work is such as to preclude free availability of the thesis through the University library or, where applicable, a collaborating establishment and, in the case of a PhD thesis, the British Library, the thesis shall be retained by the University on restricted access when it shall be available only to those directly involved in the project. Such restriction shall take Last Reviewed: 30 November 2005 11 Printed: 30 November 2005

effect immediately on completion of the programme of research and shall normally apply for a maximum period of three years. In exceptional circumstances, the Committee may approve a longer period or, where it considers it appropriate, may reduce the period. An application for an extension to the period of confidentiality shall be submitted by the research student to the Secretary of the Research Degrees Committee at least six months prior to the date on which the extension is required to commence. 8.2.4 The printed or electronic copies of the thesis submitted for examination shall remain the property of the University, and the research student shall assign the copyright/intellectual property rights of the thesis to the University. Where the research student is employed by a third party, who is not the University, the employer will be contacted by the University to determine such rights. 8.2.5 Following the award of the degree, the Secretary of the Research Degrees Committee shall lodge one copy of the thesis in the University library and one copy with any collaborating establishment. In the case of a printed thesis submitted for the award of the Degree of PhD, the Secretary shall additionally send one unbound, non-returnable copy to the British Library. In the case of an electronic thesis submitted for the award of the Degree of PhD, the Secretary shall additionally send one electronic copy to the British Library. 9. EXAMINATION 9.1 Examination - General 9.1.1 The examination for the Degrees of MSc by Research, MPhil and PhD shall have two stages: the submission and preliminary assessment of a thesis; the defence of the thesis by oral examination (or approved alternative). 9.1.2 The oral examination (or approved alternative) shall be conducted in English, except with the specific permission of the Research Degrees Committee. 9.1.3 The oral examination (or approved alternative) shall normally be held in the United Kingdom. Exceptionally, the Research Degrees Committee may give approval for the examination to take place outwith the United Kingdom. 9.1.4 A research student for the award of the Degree of PhD, whose programme of research includes formally-assessed coursework for the Postgraduate Certificate in Research Methods, shall not be permitted to proceed to a further stage of the examination for the degree until the examiners for the Postgraduate Certificate in Research Methods are satisfied with the research student s performance. The examiners of the thesis shall be advised of the research student s performance for the Postgraduate Certificate in Research Methods by the Principal Supervisor. 9.1.5 A research student shall normally be examined orally on the programme of research and on the field of study in which the programme lies. Where, for reasons of sickness, disability or comparable valid cause, the Research Degrees Committee is satisfied that a research student would be at a serious disadvantage if required to undergo an oral examination, an alternative form of examination may be approved. Such approval shall not be given on the ground that the research student s knowledge of the language in which the thesis is presented is inadequate. 9.1.6 The degrees of MSc by Research, MPhil and PhD may be awarded posthumously on the evidence of a thesis completed by a research student and deemed ready for examination by his/her Principal Supervisor. In such cases, the Research Degrees Committee shall seek evidence of the probability of the research student s success in the oral component of the examination. 9.1.7 Where evidence of academic or research misconduct in the preparation of the thesis or in the conduct of the examination becomes available subsequent to the examiners presenting their Last Reviewed: 30 November 2005 12 Printed: 30 November 2005

recommendation the Research Degrees Committee shall consider the matter, if necessary in consultation with the examiners, and take appropriate action. 9.1.8 The Research Degrees Committee shall ensure, though the appointment of an Internal Convener from outwith the School concerned, that all examinations are conducted and that the recommendations of the examiners are presented in accordance with the requirements of the University Regulations. Where the Research Degrees Committee is made aware of a failure to comply with the specified procedures, it may declare the examination invalid and appoint new examiners. 9.1.9 The Principal Supervisor may attend an oral examination as an observer only with the prior written consent of the research student. 9.2 Examiners 9.2.1 The Research Degrees Committee shall approve and appoint examiners for each research student. 9.2.2 With the exception of members of staff, as specified below, a research student shall normally be examined by two examiners who shall be: an external examiner; an internal examiner, a member of University staff not associated with the research student s supervisory team. 9.2.3 Any variation from this composition shall require the prior approval of the Research Degrees Committee. 9.2.4 Where there are two external examiners, only one internal examiner shall be appointed. 9.2.5 Where the research student has carried out the programme of research outwith the University, the examining team shall normally include one full-time member of staff from the University. 9.2.6 Where the research student and the internal examiner are both members of staff of the University, the examining team shall consist of two external examiners, and one internal examiner. This is with the exception of research assistants and research fellows who shall normally be examined by one external examiner and one internal examiner. Any variation from this composition shall require the prior approval of the Research Degrees Committee. 9.2.7 An individual who registers with the University for a higher degree, and subsequently becomes a member of staff, shall be examined by one external examiner and one internal examiner, except if the submission of the thesis takes place within four months of the research student commencing employment with the University. 9.2.8 No research student shall act as an examiner. 9.2.9 Examiners shall be experienced in research in the general area of the research student s thesis and, where practicable, shall have specialist experience in the particular topic(s) that are the subject of examination. 9.2.10 Normally, at least one examiner shall have participated in three or more previous examinations of research students; in an examination for the award of the Degree of PhD, at least one examiner shall have experience of examining at that level. 9.2.11 An external examiner shall not have acted previously as the research student s supervisor or adviser; normally, he/she shall not be either a supervisor of another research student nor an external examiner on a taught course in the same department. 9.2.12 Any external examiners shall be clearly independent of both the University and of any collaborating establishment and shall not have been in the employment of the University or, where relevant, of a collaborating establishment during a period of three years prior to Last Reviewed: 30 November 2005 13 Printed: 30 November 2005

his/her appointment. The Research Degrees Committee shall ensure that an external examiner is not appointed with such frequency that his/her familiarity with the University might be considered prejudicial to objective judgement. 9.2.13 Examiners shall submit all reports and/or recommendations to the Research Degrees Committee on the appropriate forms and within agreed timescales. 9.2.14 Prior to any oral examination (or approved alternative), each examiner shall read and examine the thesis and submit an independent report to the Secretary of the Research Degrees Committee. In preparing such a preliminary report, each examiner shall consider whether the thesis satisfies the requirements of the degree and, where possible, make a provisional recommendation subject to the outcome of the oral examination (or approved alternative). If an examiner is of the opinion that no useful purpose would be served by conducting an oral examination (or approved alternative), a recommendation may be made that there be no oral examination (or approved alternative). Where all examiners are of this opinion, they shall provide the Secretary of the Research Degrees Committee with written guidance for the research student concerning the deficiencies of the thesis. The research student shall then be eligible to re-submit his/her thesis for re-examination as specified under paragraph 9.6 of this Regulation. 9.2.15 Where one or more of the examiners are of the opinion that the thesis is so unsatisfactory that no useful purpose would be served by conducting an oral examination (or approved alternative), the Secretary of the Research Degrees Committee shall inform the other examiners of the position. Following consultation with all the examiners, a decision shall be made by the examiners on whether or not to proceed with the oral examination (or approved alternative). If the decision is that no useful purpose would be served by holding an oral examination (or approved alternative) at this stage, the research student shall eligible to resubmit his/her thesis for re-examination in accordance with paragraph 9.6 of this Regulation. 9.3 Examination Responsibilities 9.3.1 It shall be the responsibility of a research student s Study Co-ordinator to formulate the arrangements for the research student s examination. Such arrangements shall be recorded on the appropriate form and shall be submitted to the Research Degrees Committee at least three months prior to the examination date stated in the submission; the examination may not take place without formal approval of the arrangements by the Research Degrees Committee. Where the Committee deems it appropriate, the Committee itself may act directly to appoint examiners and arrange the examination of a research student. 9.3.2 The Secretary of the Research Degrees Committee is responsible for informing the research student of the specified procedure and requirements for the submission of the thesis together with any particular conditions that the research student is required to satisfy before he/she is eligible for examination. 9.3.3 The Secretary of the Research Degrees Committee is responsible for ensuring examiners are fully briefed on the duties that they are required to perform, and for sending appropriate information to the examiners including: one copy of the research student s thesis; the examiner s preliminary report form; and a copy of the relevant University Regulations. 9.3.4 The Secretary of the Research Degrees Committee shall request that all the examiners complete their preliminary report forms independently and then return them to him/her. If the recommendations in the preliminary reports are in agreement, then a date shall be set for the oral examination (or approved alternative). 9.3.5 The Secretary of the Research Degree Committee is responsible for notifying the research student, each member of the research student s supervisory team, and the examiners, of the date of the oral examination (or approved alternative). Last Reviewed: 30 November 2005 14 Printed: 30 November 2005

9.4 Research Student s Responsibilities for the Examination It shall be the responsibility of the research student to: (iv) (v) (vi) satisfy any conditions attaching to eligibility for examination prescribed by the Research Degrees Committee; to ensure that the thesis is submitted for examination before the expiry date of the period of registration as specified in paragraph 5.3 of this Regulation, subject to any formal extension granted by the Research Degrees Committee; solely determine when to submit the thesis whether or not such submission is made with the approval of the research student s supervisor(s). A research student should not assume that the supervisor s agreement to the submission of the thesis ensures its approval by the examiners. take no part in the arrangement of the examination and have no formal contact with the external examiners between the appointment of the examiners and the oral examination (or approved alternative); complete the declaration form in which he/she shall confirm that the content of the thesis has not been submitted for a comparable academic award. A research student shall not be precluded from incorporating in a thesis covering a wider area of study, work which has already been submitted for a degree or comparable award, provided that such incorporated work is specified in the declaration form and clearly indicated in the thesis. ensure that the presentation of the thesis is in accordance with the requirements of Schedule 6.1 of this Regulation. Three copies of the thesis shall be presented and, where in printed format, these shall be in a permanent binding of the approved type before the degree may be awarded. A thesis submitted in a temporary bound form shall be, in all other respects, in its final form; in such cases, the research student shall formally confirm in writing that, except where amendments have been made to satisfy the requirements of the examiners, the contents of the permanently bound thesis are identical with the copies submitted for examination. 9.5 Recommendations of the Examiners - First Examination 9.5.1 Authority to confer a research degree rests with the University s Academic Council. 9.5.2 At the conclusion of the oral examination (or approved alternative) and where the examiners are in agreement, they shall submit a joint report to the Secretary of the Research Degrees Committee stating their recommendation with regard to the award of the degree. Where the examiners consider that it might be helpful they may consult the Convener of the Research Degrees Committee before the recommendations are finalised in order to ensure that the outcome conforms to the University s Regulations. 9.5.3 Where the examiners are unanimous in their recommendation, the Convener of the Research Degrees Committee is authorised to submit the joint recommendation to Academic Council for approval. Where the examiners are not unanimous in their recommendation, the individual recommendations shall be referred to the Research Degrees Committee which shall decide the appropriate course of action in accordance with the provisions of this Regulation. 9.5.4 At the conclusion of the examination and assessment procedure and where the examiners are in agreement, they shall recommend to the Research Degrees Committee that: the research student be awarded the degree; the research student be awarded the degree subject to minor amendments being made to the thesis, with the amended thesis being submitted by a specified date and no later than 12 months from the date of the oral examination (or approved alternative); written guidance on the required amendments and/or corrections will be Last Reviewed: 30 November 2005 15 Printed: 30 November 2005